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S-21026A-17-0327

Robert Nico Martinelli and Guardian Wealth Management, LLC


Securities

Securities - General

Compliance Due

10/30/2017

Notice of Opportunity for Hearing regarding Proposed Order for Administrative Penalties, Order of Revocation and Order for other Affirmative Action.

17-0327

 
Filing Date
Description Filed By Filed For Document Details PDF
5/29/2019 Procedural Order - Regarding eFiling Marc E. Stern, Administrative Law Judge Hearing Division
1/19/2018 Decision A.C.C (#76544)
1/4/2018 Open Meeting Agenda Ted Vogt, Executive Director
1/3/2018 Open Meeting Agenda Ted Vogt, Executive Director
12/26/2017 Proposed Default Order from the Securities Division Matthew J. Neubert, Director of Securities
12/19/2017 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Alex Ramirez Securities Division
12/19/2017 Securities Division Affidavit/Certification of Mailing/Publication/Notice/Service Alex Ramirez Securities Division
10/30/2017 Application - Securities Mark Dinell, Assistant Director, Securities Division A.C.C.
Decision # Decision Date Description PDF
76544 1/19/2018 Decision
 
Location Type Date Time Completed Details Download Outlook Calendar
H.R. #1 Open Meeting 1/9/2018 10:00 AM
H.R. #1 Open Meeting 1/10/2018 10:00 AM
Case Staff
Name Area Assigned
Marc Stern Hearing 11/1/2017
James Burgess Securities 10/31/2017
Darius Taylor Securities 10/31/2017
Marc Stern Hearing 11/1/2017
James Burgess Securities 10/31/2017
 
Entity Representative Address Date Added Email Email Opt-in
Securities Division
Mark Dinell
Arizona Corporation Commission
Director, Securities Division
1300 W. Washington St.
Phoenix, AZ 85007-2927
10/30/2017 SecDivServicebyEmail@azcc.gov
Robert Nico Martinelli
Guardian Wealth Management, LLC f/k/a AIM Investment Group, LLC
Robert Martinelli
900 E. Hamilton Ave., Suite 100
Campbell, CA 95008
5/16/2019

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